Rory Hearson Email & Phone Number

London, England, United Kingdom

Part of Assurance Oversight - Responsibilities:• Review and maintain the Bank’s financial crime framework and policies• Conduct assurance and thematic reviews on financial crime matters• Conduct analysis on data and management information reports to identify trends and issues• Produce monitoring reports, identifying issues and required enhancements

Plymouth, England, United Kingdom

My role was to be a key member of the Compliance Team, providing advice and support internally to members of the firm on regulatory issues and representing the Firm where necessary to do so. To maintain and further cultivate a culture of compliance, openness, and continuous improvement within the firm in order to provide exceptional legal experiences for our clients, and to also ensure that the firm complies with its outside regulatory requirements and internal policies covering AML, CDD, PEPs and Sanctions.A large part of my role was to develop and implement the firms compliance management systems and related controls, reviewing training objectives and proactively identify issues externally that may impact the firm, and recommend the appropriate action in order for us to remain compliant. I also managed all audits and reaccreditations with ISO 9001 / Lexcel / CQS / WIQS.

Plymouth, England, United Kingdom

Bournemouth, United Kingdom

Assigned to the Due Diligence Compliance team aligned to the Private Bank - Global Wealth Management, where I managed a geographically disbursed team of 3 located in Pune and Mumbai. Key responsibilities: task prioritisation and tracking to ensure daily targets, ensuring work quality was corporately aligned, reporting on key metrics and change management. Governance was via a daily stand-up call. I was also responsible for report writing for new or existing high net worth clients wishing to utilise JP Morgan Chase as their bank. I am a competent user of Lexis Nexus, World check, Dow Jones and Lotus Notes. After my assignment to Due Diligence I worked with AML Compliance where I was responsible for reviewing system generated alerts (SWIFT payments) to assess the presence of illicit activity that may require reporting based on Bank Secrecy Act and AML requirements, conducting research as required and document detailed results in written format whilst escalating issues as appropriate for advanced investigation and analysis.

Bournemouth, United Kingdom

Assigned to the Secondary Cash Management team, this group was responsible for the cash management of the business specific secondary Nostro’s. My duties include managing the nostros to a flat balance in order to maximise cash for the firm and in so doing minimising credit risk exposure and reducing loss of opportunity charges and agent interest charges for the business. The accounts I managed personally operated in the units of billions of currencies. My daily and monthly tasks were as follows: - - Analysis of all positions and funding to a flat balance within currency deadlines - Balance monitoring and justification of any balances which cause a cost to the firm of over $100USD - Analysis of costs and cost avoidance initiatives - Supporting new business initiatives (new markets / currencies, agent migrations) - I had to work accurately under pressure within very tight deadlines and be able to communicate effectively (written and verbal) with my local team and teams located in Mumbai and Delaware (US).

Selected to row for Great Britain - 1 of 10 selected out of a national trial campaign - with the goal of rowing in the Rio Olympics 2016 (leptospirosis forced me to stop).

Represented London Wasps Rugby ‘A’ against Worthing, Bath and Exeter (shoulder injury forced me to stop, 1 year to fully recover)

Bachelor Of Science - Bsc Hons, Maritime Business And Maritime Law, 2:1

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Foundation Degree, Management, Government And Law, First Class Honours

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